DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
F•••••• C•••••• A•••••••
Legal name F•••••• C•••••• A•••••••• L••
Latest filing Mar 22, 2023
First filing on the tape Feb 12, 2019 · 22 filings
RAUM
$4.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$4.9M as of Mar 22, 2023
Mar 30, 2020$0 then
HNW client RAUM: $4.4M
State-registered IARs (5.B.3)5 as of Mar 22, 2023
Mar 30, 20201 then
Employees (5.A)5 as of Mar 22, 2023
Mar 30, 20202 then
Private funds: no history
RAUM -21% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
- RAUM per advisor
- $974,029derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $39,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.9M100%
- Individual clients
- 93reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 124reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••••• F••••• to C•• W•••••• L••Dec 31, 2022 · RIA to RIA
- C••• A••••• F••••• to W••••• M••• E••••••••• I•••Dec 31, 2022 · RIA to a newly registered adviser
- R•••••• T•••••• to W••••• M••• E••••••••• I•••Dec 31, 2022 · RIA to a newly registered adviser
- D•••••• F••••• to O••••• I••••••••• A••••••• L••Apr 20, 2022 · Other
Joined, latest
- D•••••• F••••• from F•••••• F••••••••Sep 1, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••• M••• E••••••••• I•••Dec 31, 2022 · Charlotte, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• C•••••• F••••••• · Ceo, Ccocontrolsince 01/2019 · owns less than 5%
- W•••••••• C•••••• F••••••• · Managing Membercontrolsince 01/2019 · owns 75% or more of T•• F•••••• C•••••• M••••••••• H•••••• G••••
Entity owners
- T•• F•••••• C•••••• M••••••••• H•••••• G•••• · Principaldirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 93 to 124Jan 24, 2023 to Mar 22, 2023
- Advisory employees · 3 to 5Jan 24, 2023 to Mar 22, 2023
- Advisory activities · 2 to 4Jan 24, 2023 to Mar 22, 2023
- HNW clients · 2 to 0Jan 24, 2023 to Mar 22, 2023
- Individual clients · 91 to 93Jan 24, 2023 to Mar 22, 2023
- Employees · 3 to 5Jan 24, 2023 to Mar 22, 2023
- Insurance-licensed employees · 2 to 4Jan 24, 2023 to Mar 22, 2023
- Financial planning clients · 101-250 to 51-100Jan 24, 2023 to Mar 22, 2023
- State-registered IARs · 3 to 5Jan 24, 2023 to Mar 22, 2023
- Discretionary RAUM · $6.2M to $4.9MJan 24, 2023 to Mar 22, 2023
- HNW RAUM · 4396170.0 to unsetJan 24, 2023 to Mar 22, 2023
- Individual RAUM · $1.8M to $4.9MJan 24, 2023 to Mar 22, 2023
- RAUM · $6.2M to $4.9MJan 24, 2023 to Mar 22, 2023
- Advisory activities · 1 to 2Feb 2, 2022 to Mar 28, 2022
- Accounts · 99 to 93Nov 1, 2021 to Feb 2, 2022
- Advisory activities · 2 to 1Nov 1, 2021 to Feb 2, 2022
- HNW clients · 0 to 2Nov 1, 2021 to Feb 2, 2022
- Individual clients · 80 to 91Nov 1, 2021 to Feb 2, 2022
- Discretionary RAUM · $970,416 to $6.2MNov 1, 2021 to Feb 2, 2022
- HNW RAUM · unset to 4396170.0Nov 1, 2021 to Feb 2, 2022
- Individual RAUM · $970,416 to $1.8MNov 1, 2021 to Feb 2, 2022
- RAUM · $970,416 to $6.2MNov 1, 2021 to Feb 2, 2022
- Accounts · 0 to 99Dec 8, 2020 to Mar 3, 2021
- Advisory employees · 1 to 3Dec 8, 2020 to Mar 3, 2021
- Individual clients · 0 to 80Dec 8, 2020 to Mar 3, 2021
- Employees · 2 to 3Dec 8, 2020 to Mar 3, 2021
- Financial planning clients · 0 to 101-250Dec 8, 2020 to Mar 3, 2021
- State-registered IARs · 1 to 3Dec 8, 2020 to Mar 3, 2021
- Discretionary RAUM · $0 to $970,416Dec 8, 2020 to Mar 3, 2021
- Individual RAUM · unset to 970416.0Dec 8, 2020 to Mar 3, 2021
- RAUM · $0 to $970,416Dec 8, 2020 to Mar 3, 2021
- Insurance-licensed employees · 1 to 2Aug 13, 2019 to Oct 1, 2019
- Wrap assets (manager) · 0.0 to unsetAug 13, 2019 to Oct 1, 2019
- Wrap assets (sponsor) · 0.0 to unsetAug 13, 2019 to Oct 1, 2019
Signals
6 dated events
- D•••••• F••••• left F•••••• C•••••• A••••••• for C•• W•••••• L•• (registered 2023-03-15)Dec 31, 2022 · Advisor changed firm · fact
- C••• A••••• F••••• left F•••••• C•••••• A••••••• for W••••• M••• E••••••••• I••• (registered 2024-08-28)Dec 31, 2022 · Advisor changed firm · fact
- R•••••• T•••••• left F•••••• C•••••• A••••••• for W••••• M••• E••••••••• I••• (registered 2024-08-29)Dec 31, 2022 · Advisor changed firm · fact
- 2 advisors left F•••••• C•••••• A••••••• (Charlotte, NC) for W••••• M••• E••••••••• I••• on the same dayDec 31, 2022 · Team lift-out · derived
- D•••••• F••••• left F•••••• C•••••• A••••••• for O••••• I••••••••• A••••••• L•• (registered 2022-01-07)Apr 20, 2022 · Advisor changed firm · fact
- F•••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Feb 12, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026